SFC Licences of LOKE Wai Ming 陸偉明

Source: Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer

Institution	Role	Licences	Start date	End date
Pulun International Capital Limited 普倫國際融資有限公司	RO	6	19 March 2020	01 April 2024
Pulun International Capital Limited 普倫國際融資有限公司	RO	1	19 March 2020	03 March 2021
RHB Capital Hong Kong Limited 興業金融融資有限公司	RO	6	12 December 2017	15 February 2019
RHB Capital Hong Kong Limited 興業金融融資有限公司	RO	1	12 December 2017	15 February 2019
RHB Securities Hong Kong Limited 興業金融證券有限公司	RO	4	12 December 2017	15 February 2019
RHB Securities Hong Kong Limited 興業金融證券有限公司	RO	1	12 December 2017	15 February 2019
China Everbright Capital Limited 中國光大融資有限公司	RE	6	15 March 2017	11 October 2017
China Everbright Capital Limited 中國光大融資有限公司	RE	4	15 March 2017	11 October 2017
China Everbright Capital Limited 中國光大融資有限公司	RE	1	15 March 2017	11 October 2017
NFH Securities and Futures Limited 新金控證券期貨有限公司	RO	1	25 August 2016	15 March 2017
NFH Corporate Finance Limited 新金控融資有限公司	RO	6	17 November 2015	15 March 2017
Anbang Capital (Hong Kong) Co. Limited 安邦資本(香港)有限公司	RO	6	05 June 2014	30 March 2015
Anbang Capital (Hong Kong) Co. Limited 安邦資本(香港)有限公司	RO	4	05 June 2014	30 March 2015
Anbang Capital (Hong Kong) Co. Limited 安邦資本(香港)有限公司	RO	1	05 June 2014	30 March 2015
Anbang Capital (Hong Kong) Co. Limited 安邦資本(香港)有限公司	RE	6	20 May 2014	05 June 2014
Anbang Capital (Hong Kong) Co. Limited 安邦資本(香港)有限公司	RE	4	20 May 2014	05 June 2014
Anbang Capital (Hong Kong) Co. Limited 安邦資本(香港)有限公司	RE	1	20 May 2014	05 June 2014
Chief Financial Capital Limited 致富金融資本有限公司	RO	6	14 March 2013	01 May 2014
Chief Securities Limited 致富證券有限公司	RE	4	12 October 2012	01 May 2014
Chief Securities Limited 致富證券有限公司	RE	1	12 October 2012	01 May 2014
Daiwa Capital Markets Hong Kong Limited 大和資本市場香港有限公司	RO	6	11 March 2010	08 November 2011
Daiwa Capital Markets Hong Kong Limited 大和資本市場香港有限公司	RE	1	09 July 2009	08 November 2011
Daiwa Capital Markets Hong Kong Limited 大和資本市場香港有限公司	RE	6	09 July 2009	11 March 2010
Macquarie Corporate (Hong Kong) Limited	RE	6	25 July 2007	28 February 2009
Macquarie Capital Limited 麥格理資本股份有限公司	RE	6	25 July 2007	28 February 2009
Macquarie Capital Limited 麥格理資本股份有限公司	RE	1	25 July 2007	28 February 2009
Merrill Lynch Far East Limited	RE	4	22 April 2005	29 March 2007
Merrill Lynch Far East Limited	RE	1	22 April 2005	29 March 2007
Merrill Lynch Far East Limited	RE	6	24 March 2004	29 March 2007
Merrill Lynch (Asia Pacific) Limited	RE	6	24 March 2004	29 March 2007
Merrill Lynch (Asia Pacific) Limited	RE	4	24 March 2004	29 March 2007
Merrill Lynch (Asia Pacific) Limited	RE	1	24 March 2004	29 March 2007